United States v. Ballan

71 M.J. 28, 2012 CAAF LEXIS 238, 2012 WL 686217
CourtCourt of Appeals for the Armed Forces
DecidedMarch 1, 2012
Docket11-0413/NA
StatusPublished
Cited by131 cases

This text of 71 M.J. 28 (United States v. Ballan) is published on Counsel Stack Legal Research, covering Court of Appeals for the Armed Forces primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Ballan, 71 M.J. 28, 2012 CAAF LEXIS 238, 2012 WL 686217 (Ark. 2012).

Opinions

Judge RYAN

delivered the opinion of the Court.

A military judge, sitting as a general court-martial, convicted Appellant, pursuant to his pleas, of one specification of sodomy with a child under age twelve, one specification of indecent acts with a child,1 and eight specifications of indecent acts with another, violations of Articles 125 and 134, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 925, 934 (2006).2 A panel of members sentenced Appellant to a dishonorable discharge, confinement for a period of twenty-five years, and forfeiture of all pay and allowances.

In accordance with Appellant’s pretrial agreement, the convening authority agreed to suspend confinement in excess of twenty years for the period of confinement served plus twelve months.

Addressing an unrelated issue on appeal, the United States Navy-Marine Corps Court of Criminal Appeals (NMCCA) set aside the findings of guilty and dismissed Specifications 6, 7, and 8 of Charge III as legally insufficient. United States v. Ballan, No. NMCCA 201000242, slip op. at 3, 5 (N.M.Ct.Crim.App. Jan. 27, 2011). The NMCCA reassessed Appellant’s sentence, but found that the members would have nevertheless imposed the same sentence.3 Id. at 4.

Consistent with our decision in United States v. Wilkins, 29 M.J. 421 (C.M.A 1990), we hold that action by the convening authority showing an intent to refer a particular charge to trial is sufficient to satisfy the jurisdictional requirements of the Rules for Courts-Martial (R.C.M.). Further, we hold that while it is error to fail to allege the terminal element of Article 134, UCMJ, expressly or by necessary implication, in the context of a guilty plea, where the error is alleged for the first time on appeal, whether there is a remedy for the error will depend on whether the error has prejudiced the substantial rights of the accused. See Article 59, UCMJ, 10 U.S.C. § 859 (2006).

I. FACTUAL BACKGROUND

The Naval Criminal Investigative Service (NCIS) began investigating Appellant in 2008 when his three biological children — all living separately in foster homes at the time — were observed exhibiting age-inappropriate sexual [31]*31behavior. Pursuant to this investigation, NCIS interviewed Appellant on July 9, 2008. During this and a subsequent interview, Appellant admitted that he had engaged in a variety of sexual misconduct with, and in the presence of, his children — all of whom were under age twelve at the time of the events. The exact nature of the conduct is not relevant to either of the specified issues now under consideration.

On April 22, 2009, the Government preferred the following charges against Appellant: one specification of rape of a child, in violation of Article 120, UCMJ, 10 U.S.C. § 920, one specification of sodomy with a child under age twelve, in violation of Article 125, UCMJ, and eight specifications of indecent acts or liberties with a child, in violation of Article 134, UCMJ. As preferred, none of the specifications of indecent acts or liberties with a child contained the terminal element for Article 134, UCMJ.

On June 5, 2009, Appellant and his defense counsel signed a valid unconditional waiver of investigation under Article 32, UCMJ, 10 U.S.C. § 832 (2006). A month later, on July 6, 2009, Appellant and his defense counsel signed a two-part Memorandum of Pretrial Agreement. With regard to Charge I — alleging a single specification of rape of a child, in violation of Article 120, UCMJ — Appellant agreed to plead “NOT GUILTY [to the Article 120, UCMJ, violation], but GUILTY to the LIO [Lesser Included Offense] of indecent acts with a child,” in violation of Article 134, UCMJ. Neither the original Charge I specification nor the specification to which Appellant agreed to plead guilty included the terminal element for Article 134, UCMJ. Appellant also agreed to plead guilty to the Article 125, UCMJ, violation essentially as charged and, for the eight specifications of indecent acts with a child in Charge III, to the lesser included offense (LIO) of indecent acts with another, both violations of Article 134, UCMJ. The Charge III specifications in the pretrial agreement again failed to allege the terminal element for Article 134, UCMJ.

On July 10, 2009, the Staff Judge Advocate (SJA) sent the convening authority a memorandum regarding the charges pending against Appellant and attached, inter alia, the original charge sheet and Appellant’s signed Memorandum of Pretrial Agreement. In this memorandum, the SJA first noted that Appellant had agreed “to plead guilty to 1 specification of Article 125, UCMJ, and 9 specifications of Article 134, UCMJ” and then recommended that the convening authority “refer the charges and specifications to general court-martial.” That same day, the convening authority referred the charges originally preferred against Appellant to the court-martial that he had ordered to be convened on March 18, 2009, and approved both parts of the pretrial agreement.

Prior to the court-martial, the parties submitted a stipulation of fact, which described the elements and underlying facts of each charge and specification. The stipulation’s explanation of the offenses to which Appellant was pleading guilty included an acknowl-edgement that his conduct was prejudicial to good order and discipline and of a nature to bring discredit upon the armed forces. During Appellant’s plea inquiry, the military judge explained each of the elements, including the terminal element, of the Charge I specification of indecent acts with a child, in violation of Article 134, UCMJ. The military judge verified that “these elements correctly describe[d]” Appellant’s conduct, and Appellant described the conduct in his own words. The military judge then asked Appellant, “[W]ere these acts prejudicial to good order and discipline or service discrediting, or both in your opinion?” Appellant responded that they were “[sjervice discrediting,” and explained why he believed this to be true.

The military judge repeated the same plea inquiry for each of the eight Article 134, UCMJ, specifications in Charge III: the military judge explained the elements, had Appellant describe the underlying conduct, and then asked Appellant whether — and if so, how — his actions were service discrediting or prejudicial to good order and discipline. For each of the eight specifications, Appellant explained how his conduct was service discrediting.

[32]*32II. ISSUE II: THE CHARGED ARTICLE 120, UCMJ, OFFENSE

“We review jurisdictional questions de novo.” United States v. Alexander, 61 M.J. 266, 269 (C.A.A.F.2005). “A jurisdictional defect goes to the underlying authority of a court to hear a case ... [hjowever, where an error is procedural rather than jurisdictional in nature we test for material prejudice to a substantial right to determine whether relief is warranted.” Id. (citing Article 59(a), UCMJ; United States v. Morgan, 57 M.J. 119, 122 (C.A.A.F.2002)).

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Cite This Page — Counsel Stack

Bluebook (online)
71 M.J. 28, 2012 CAAF LEXIS 238, 2012 WL 686217, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-ballan-armfor-2012.